Securities Fraud Articles
Blog, Current Investigations, Securities Fraud Articles
December 12, 2016
John Scott Simpson Barred from the Securities Industry
According to FINRA, John S. Simpson (CRD#: 719367) has been barred from the securities industry. On October 25, 2016, in connection with...
Blog, Securities Fraud Articles
December 6, 2016
New Jersey Broker Arrested for Stock Fraud
Christopher Cervino, 43, faces fraud and other charges for his alleged involvement in a scheme to trade stock at inflated prices, according...
Blog, Current Investigations, Securities Fraud Articles
December 5, 2016
Tye C. Williams Barred from Securities Industry
According to FINRA, Tye Calvin Williams (CRD #1271046, Frisco, Texas) submitted an AWC in which he was barred from association with any...
Current Investigations, Securities Fraud Articles
December 5, 2016
Lucas Lichtman Suspended from the Securities Industry
According to FINRA, Lucas Dylan Lichtman (CRD #5542092, Nanuet, New York) submitted an Offer of Settlement in which he was assessed a...
Blog, Current Investigations, Securities Fraud Articles
December 5, 2016
James Kolf Barred from the Securities Industry
According to FINRA, James Paul Kolf (CRD #1015682, Sauk City, Wisconsin) submitted an AWC in which he was barred from association with any...
Blog, Current Investigations, Securities Fraud Articles
December 5, 2016
Robert Estevez Suspended from the Securities Industry
According to reports, Robert Estevez (CRD #3161419, Greenwich, Connecticut) submitted an AWC in which he was fined $20,000 and suspended...
